从PCT申请和三方专利指标评价中国海外专利申请实力

目前中国的本国人发明专利申请量和授权量同时位居世界首位，成为名副其实的专利生产大国。但中国向海外申请专利的水平和实力还比较薄弱。从反映国家（地区）国际专利申请实力的PCT申请和三方专利这两个指标看，在绝对数量和规模上我国已进入国际前列，但在结构和强度上与主要专利强国还存在较大差距。我国政府将PCT申请量纳入规划文件后，除了推动和激励国内企业积极向海外提交专利申请，还要注意监测PCT申请进入国家阶段的状况，并为企业的海外专利布局提供必要帮助。     

Patent statistics: A good indicator for innovation in China? Patent subsidy program impacts on patent quality

Using a merged dataset of Chinese patent data and industrial survey data, we make a bibliometric analysis of patenting activities of Chinese large and medium-sized enterprises under local patent subsidy programs and test whether patent statistics are a good indicator of innovation in China. Our empirical results show that patent count is correlated with R&D input and financial output, which suggests that patent statistics are meaningful indicators. However, patent subsidy programs increase patent counts more than 30%. We emphasize the necessity of adjustments and provide a novel method of using the number of nouns in claims to quantify the claim scope, thereby overcoming the shortcomings of Chinese patent data that have no citations or lack well-documented patent claim information. We extend prior studies on patent subsidy programs by providing a detailed clarification of policy designs and their impacts and by evaluating policy impacts on both the quantity and quality of patent applications.     

The innovation process of Huawei and ZTE: Patent data analysis

This study compares the innovation process of Huawei and ZTE in China using their patent data. By using patent statistics and raw data, this study provides more detailed findings than what statistics alone can provide. Huawei and ZTE were selected for this study mainly because they were the only Chinese firms that ranked among the top 100 PCT applicants in 2011. This study investigates the difference in the innovation process in R&D between Huawei and ZTE by analyzing (1) domestic and international patent application patterns, (2) granted patents, (3) co-applicants and inventors, (4) knowledge accumulation inside Huawei and ZTE, and (5) knowledge spillover to domestic and foreign firms.     

The role of research and ownership collaboration in generating patent quality: China-U.S comparisons

This paper uses patent data from the U.S. Patent and Trademark Office to investigate the association between inventor collaboration and joint assignee ownership, both domestic and international, and patent quality as measured by the number of claims and citations associated with a patent. Specifically, we compare the quality implications of research collaboration and joint patent ownership for the quality of U.S. and Chinese patents. Overall, we find that domestic inventor collaboration is associated with higher quality results for U.S. patents than Chinese patents. However, for China, international collaboration is associated with more positive quality outcomes; for U.S. patents, international collaboration implies lower quality than that associated with domestic U.S. collaboration. Part of this disparity is due to substantially different quality outcomes associated with joint U.S.-Chinese patents – quality gains for China and quality reductions for the U.S. We also investigate the quality implications of different organization-centered research, including dyadic and triadic collaborations, for patent quality as well as the quality implications of various assignee-inventor relationships, operating through incentive and scale effects. While most firms, particularly those in the U.S., appear to exploit advantages of fewer owner-assignees coordinating the scale benefits of more inventors, universities and research institutes in China appear to rely less on coordination-scale effects and more on the incentive effects associated with assigning patent ownership to inventors.     

The impact of China’s outward foreign direct investment on domestic innovation

This paper explores the reversal technology spillovers of outward foreign direct investment (OFDI) on Chinese firms. Combining a uniquely merged database of Chinese firm-level OFDI and patent data and applying the Propensity-Score-Method-Difference-In-Differences (PSM-DID) methodology, we find a positive causal effect of OFDI on invention patent applications. Some estimations of heterogeneous effects show that OFDI promotes invention patent applications for private enterprises but has mute impact on state-owned and foreign-owned enterprises. With respect to OFDI host countries, OFDI toward developed countries is more effective for promoting innovation activities than developing countries. Three potential transmission channels of OFDI are empirically tested: direct technology purchases, access to high-tech inputs, and international mobility of personnel. Lastly, some policy implications are raised for China’s “Going Out” strategy and the economic development driven by innovation.     

The value of Chinese patents: An empirical investigation of citation lags

China has been experiencing a substantial growth in patent applications. But is this increase accompanied by a similar increase in patent value? To assess this question, we examine the citation lag of Chinese patents as a proxy of patent value in comparison with patents from the US, Europe, Japan, and Korea. Our empirical analysis comprises a unique data set of 60,000 patents with priority years between 2000 and 2010. Utilizing Cox regressions, our results show that Chinese patents suffer from a large citation lag in comparison to international patents, indicating a lower value. This is especially true for patents filed domestically. However, we find empirical support for an increasing patent value in more recent patents. China shows a strong dynamic in the field of patenting and our results suggest that the gap between Chinese patents and international patents might narrow down in the near future.     

建设创新型国家背景下中外在华职务发明专利申请比较分析

本文以1985～2003年我国受理的国内职务发明专利申请作为研究对象,对国内外专利申请基本状况、技术结构和比较优势进行了分析,以期为国家制定科技政策和相关技术领域企业开展技术创新提供参考。     

How do Chinese industries benefit from FDI spillovers?

Recently, Foreign Invested Enterprises (FIEs) in China have increased their investment in not only production activity but also R&D activity. This paper examines the impact of spillovers from such activities by FIEs on two types of innovations by Chinese domestic firms: Total Factor Productivity (TFP) and invention patent application, using comprehensive industry and province-level data. We evaluate such spillovers according to FIEs' ownership structure, the origin of foreign funds and whether they are from the same industry or from other industries. We find an interesting asymmetry between spillovers to TFP and invention patent applications; while we do not find significant intra-industry spillovers from FIEs but find robust inter-industries spillover related to TFP, we find substantial intra-industry spillovers promoting invention patent applications but no evidence of inter-industries spillovers. Furthermore, whereas spillovers from FIEs to Chinese firms' TFP stem from their production activities, the source of spillovers related to invention patent applications is mostly through their R&D activity. Our findings indicate a need for multidimensional evaluation of the role of FDI in developing countries.     

基于专利分析的我国燃料电池汽车产业发展现状与对策研究

燃料电池汽车是我国推广的新能源汽车中的一种。在世界范围内,自1996年以来燃料电池汽车专利呈现逐年增长的趋势,逐步形成了日本、美国、德国、中国为主的四大申请国。考虑到我国巨大的市场前景,各国申请人纷纷到我国进行专利申请,并在燃料电池核心技术领域进行了专利布局。虽然从总量以及增长速度而言,我国申请人具有优势,但是实用新型专利的占比过高与核心专利的缺乏令人担心其发展前景。对此,我国应充分发挥产业政策对燃料电池专利技术研发的引导作用,增进燃料电池专利的协同创新,形成专利竞争合力并积极推进燃料电池专利的产业化。     

中国企业创新为何重数量而轻质量——数量增长目标考核视角

数量增长目标考核是中国创新政策的重要特色。由于政策实施过程中普遍存在信息问题和机会主义，数量增长目标考核会引发微观创新主体的适用性策略行为。文章通过手工搜集和匹配上市公司专利数据，建立双重差分模型，尝试从专利数量增长目标考核视角，考察中国2010年实施的《全国专利事业发展战略（2011-2020年）》这一重大创新战略对企业创新行为的影响，发现该战略对企业专利数量增长具有显著的促进作用，而对专利质量提升具有抑制效应，表明专利数量增长的目标考核会导致企业"重数量、轻质量"的专利申请行为。异质性分析的结果表明，民营企业以及创新能力偏低的企业更倾向于采取"重数量、轻质量"的专利申请行为。进一步，该战略主要通过财政补贴、税收优惠和信贷扶持等政策措施引导企业专利申请行为。这些结论为引导中国企业高质量创新行为的政策目标设计、政策工具选择及分类精准施策提供了有益启发。     

中国5G专利技术的申请特性和生命周期研究

目前5G（第5代移动通信技术）已经逐渐商业化,但对中国5G专利技术生命周期的研究较为缺乏。基于1996—2020年的专利数据考察中国5G专利申请的特性,运用Logistic增长模型分析中国5G专利技术的生命周期。研究发现：中国5G专利技术年度申请量在2018年达到峰值,目前无论是从整体还是从主要技术类别看,均已进入技术衰退期;中国5G专利申请人的主体是企业且主要分布在新一代信息技术、高端装备制造、新材料和数字创意4个新兴产业;中国5G专利大多为独立申请,合作申请比例不足5%,且企业与高校等机构的合作研发不足。     

Broadband internet and enterprise innovation

Based on microdata from China's listed companies and macrodata for broadband internet access in prefecture-level cities, this paper explores the relationship between broadband internet and enterprise innovation. Using the change in market concentration caused by the North–South separation reform of China Telecom in 2002 as an instrumental variable, the results show that in general, a 1% increase in broadband internet access results in a 1.395% increase in the number of corporate patents. Specifically, the number of valid patents, patent citations and valid patent citations, reflecting patent quality, increases by 1.499%, 0.920% and 0.763%, respectively. The mechanistic analysis shows that broadband internet access contributes to increasing the number of R&D personnel and personal innovation efficiency, enhancing enterprises' willingness to innovate, and easing financing constraints. Further analysis suggests that broadband internet access mainly promotes invention patents rather than design patents. The innovation effect is more evident among high-tech, inventor-intensive, state-owned enterprises and enterprises located in the non-southeastern coastal region of China.     

室温催化处理VOCs的专利分析

对室温催化处理挥发性有机物（VOCs）的相关专利的申请量趋势、地域分布、申请人、发明人、技术功效等进行分析。结果表明，目前室温催化处理VOCs处于技术萌芽期，专利申请主要集中在国内，国外专利布局较少，可加强国外专利布局，提前占领技术领地。通过对技术功效和技术要点的分析可以了解目前室温催化处理VOCs的技术热点和技术空白点，对室温催化处理VOCs技术的后续研究具有一定的启发作用。     

七月酷暑 光伏过冬

一度高速发展的中国光伏产业,而今内外交困,陷于停产或半停产。如何捕捉"危"中之"机"?八字药方:做强企业,做大市场。     

Effects of foreign and domestic economic policy uncertainty shocks on South Korea

This paper investigates the effects of foreign and domestic economic policy uncertainty shocks on South Korea via structural VARs. The results show that both foreign and domestic policy uncertainty shocks exert negative and significant impacts on South Korea. Foreign economic policy uncertainty shocks are found to be more dominant than domestic economic policy uncertainty shocks in influencing the Korean output. The results also indicate that economic policy uncertainty that originates from foreign countries is a significant source of disturbance to the Korean economy, but domestic policy uncertainty plays a rather limited role in explaining Korean business fluctuations.     

Lobbying paradox of strategic export policy in a differentiated duopoly

This paper presents an analysis of lobbying based on imperfect competition by using three-stage game. It seeks to explain why lobbying efforts might be influenced by a home government’s viewpoint. Endogenously determined lobbying may distort the outcomes of strategic export policy, so that the results would differ from that generated by exogenously set lobbying. The lobbying paradox results in the domestic firm being worse off than if it could credibly commit to not engage in lobbying. Moreover, in the presence of foreign firm lobbying, the desired tax level is as the same as that of the benchmark case without lobbying.     

FDI and the Export Performance of Chinese Indigenous Firms: a Regional Approach

The primary purpose of this paper is to examine the impact of Foreign Direct Investment (FDI) on the export performance of Chinese indigenous firms. A panel data analysis is employed using data across 29 provinces over the 1985–99 period. Owing to the exceptionally uneven distribution of FDI, the analysis compares the impact of FDI on all provincial exports and exports of indigenous firms over the three macro-regions of China. While the findings of the empirical analysis should be viewed with caution, they do show that FDI has less influence on the export performance of indigenous firms than on all firms (foreign and indigenous). The findings imply that linkages between the foreign and domestic sectors need to be improved if FDI is to be a vehicle for improving the competitiveness of domestic firms. Alternatively, policies may have to be directed towards the indigenous firms themselves to enhance their export performance.     

乌兹别克斯坦投资法律环境的利弊分析

中国与乌兹别克斯坦建交以来,两国间贸易额连年增长,乌兹别克斯坦已成为我国在中亚五国中的第三大贸易投资伙伴,但中国投资者因对乌兹别克斯坦投资法律环境了解不够充分而导致投资失败的案例举不胜举。深入分析乌兹别克斯坦投资法律环境的利弊将有利于中国投资者审慎决策,为此,本文对乌兹别克斯坦的投资法律环境进行了分析,认为有利方面表现在鸟兹别克斯坦不断完善其税收体系、从法律上保障外国投资者的权益、对内外资提供基本一致的法律保护和向外资提供各种优惠政策等;不利方面表现在对外资准入、企业经营以及外资退出等方面还存在着不同程度的限制。     

Innovation, international R&D spillovers and the sectoral heterogeneity of knowledge flows

We analyze the relative effects of national and international, intrasectoral and intersectoral R&D spillovers on innovative activity in six large, industrialized countries over the period 1980–2000. We use patent applications at the European Patent Office to measure innovation and their citations to trace knowledge flows within and across 135 narrowly defined technological fields. Using panel cointegration we show that intersectoral spillovers have a key impact on innovation activities and that domestic R&D has a stronger effect than international R&D. However, within technological fields, estimated international R&D spillovers are 2.4 times the national R&D effects. We find significant differences across chemicals, electronics and machinery industries.     

‘Doing-good’ and ‘doing-well’ in Chinese publicly listed firms

Recently, the presumed benefits of corporate social responsibility have become an important issue, especially for China where institutional settings are quite different from other parts of the world. Using an internationally accepted benchmark (OECD's Principles of Corporate Governance, OECD, 2004), this study constructs a corporate social responsibility (CSR) index to measure the quality of the corporate social responsibility practices of the 100 major Chinese listed firms during 2004–2007. This enables us to evaluate the progress of the corporate social responsibility practices of Chinese firms. The results show that Chinese companies have been making progress in their corporate social responsibility practices. The findings also show that market rewards Chinese firms for improving their corporate governance practices which implies ‘doing-good’ leads to ‘doing-well’ in the equity market in China. We also find that overseas-listed and more profitable Chinese firms have better improvement in CSR practice. This study has policy implications in pushing for further CSR initiatives in other emerging markets.